Content Management of Mutual Fund 5. Prescription of additional rules The SEC is empowered to prescribe additional provisions, conditions, and procedures to protect the investors or to ensure the clarity
well as regulatory burden. This would lead to more efficiency and clarity. We have also committed ourselves to promote best practices of environment, social and good governance as well as human rights in
, clarity and transparency of the SEC's operation: For example, the SEC strategic plan shall be consistent with the National Strategy, the National Economic and Social DevelopmentPlan as well as the
public and the rules relevant to listed companies on the SET and the mai. This is to ensure clarity on the characteristics of business undertaking that may be deemed an undertaking of business as an
meeting notice concerning the calculated impacts of the proposed capital increase on the shareholders, and the lack of clarity in the objectives of the capital increase. Since this case may affect the
effectively. They should operate robust policies to deal with inside information and to avoid market manipulation. 3.5 Appropriate remuneration structures Institutional investors’ pay structures should
such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with
(12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with relevant
intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with relevant regulators in utterly cooperative way
. He also claimed that the share issuer would increase capital shares and be allowed to resume trading on the Stock Exchange of Thailand. The client was interested in such deal but only had money for